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(cid:50) (cid:79)(cid:112)(cid:101)(cid:110)(cid:32)(cid:65)(cid:99)(cid:99)(cid:101)(cid:115)(cid:115) (cid:73)(cid:110)(cid:102)(cid:114)(cid:97)(cid:115)(cid:116)(cid:114)(cid:117)(cid:99)(cid:116)(cid:117)(cid:114)(cid:101) (cid:87)(cid:87)(cid:87) (cid:79)(cid:112)(cid:101)(cid:110)(cid:32)(cid:65)(cid:99)(cid:99)(cid:101)(cid:115)(cid:115)(cid:32)(cid:102)(cid:111)(cid:114)(cid:32)(cid:76)(cid:105)(cid:98)(cid:114)(cid:97)(cid:114)(cid:121)(cid:32)(cid:83)(cid:99)(cid:104)(cid:111)(cid:111)(cid:108)(cid:115) Open Access Infrastructure Module 2 Open Access Infrastructure UNIT 1 Open Access Repositories 5 UNIT 2 Open Journals 52 UNIT 3 More About Open Approaches 87 Published in 2015 by the United Nations Educational, Scientific and Cultural Organization, 7, place de Fontenoy, 75352 Paris 07 SP, France © UNESCO 2015 ISBN 978-92-3-100075-1 This publication is available in Open Access under the Attribution-ShareAlike 3.0 IGO (CC-BY-SA 3.0 IGO) license (http://creativecommons.org/licenses/by-sa/3.0/igo/). By using the content of this publication, the users accept to be bound by the terms of use of the UNESCO Open Access Repository (http://www.unesco.org/openaccess/terms-use-ccbysa-en). The designations employed and the presentation of material throughout this publication do not imply the expression of any opinion whatsoever on the part of UNESCO concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The ideas and opinions expressed in this publication are those of the authors; they are not necessarily those of UNESCO and do not commit the Organization. Cover design by The Commonwealth Educational Media Centre for Asia (CEMCA) Printed in PDF Open Access CURRICULUM DESIGN COMMITTEE Infrastructure Anirban Sarma Parthasarathi Mukhopadhyay UNESCO New Delhi, India Kalyani University, India Anup Kumar Das Ramesh C Gaur Jawaharlal Nehru University, India Jawaharlal Nehru University, India Barnali Roy Choudhury Sanjaya Mishra CEMCA, New Delhi CEMCA, New Delhi, India Bhanu Neupane Shalini Urs UNESCO, Paris, France University of Mysore, India Bojan Macan Sridhar Gutam Ruder Boškoviƒ Institute Library, Croatia Central Institute for Subtropical Horticulture, India Dominique Babini Susan Veldsman CLACSO, Argentina Academy of Science of South Africa, South Africa Ina Smith Uma Kanjilal Stellenbosch University, South Africa Indira Gandhi National Open University, India Iskra Panevska Upali Amarasiri UNESCO New Delhi, India University of Colombo, Sri Lanka Jayalakshmi Chittoor Parameswaran Žibutė Petrauskiene Independent Consultant, India Vilnius University Library, Lithuania M Madhan ICRISAT, India MODULE ADVISORS Ramesh C Gaur Project Coordinator Jawaharlal Nehru University, India Sanjaya Mishra Uma Kanjilal CEMCA, New Delhi, India Indira Gandhi National Open University, India MODULE PREPARATION TEAM Writer Editor Chief Editor Ina Smith M.P. Satija Sanjaya Mishra Stellenbosch University, South Africa UGC Emeritus Fellow CEMCA, New Delhi Guru Nanak Dev University, India 2 MODULE INTRODUCTION Open access means free and unhindered access to scholarly research and other publications by anyone who has access to the Internet. An initiative of the 21st century (Budapest Open Access Initiative (BOAI)) open access is taken as an economic model made possible by the global information networks. But its antecedents can easily be seen in the print era. Many missions, both diplomatic and religious, NGOs concerned with social welfare, environmental protection and some political/ideological groups not only distribute their publications free of cost, including periodicals, but also encourage readers to copy, distribute or republish the matter without permission only by acknowledging the author and the source. But its e-avatar focuses on research and academic literature which is a consequence of needs of new economic models of research mostly funded by Government or its agencies. Though the number of research journals has increased constantly but the libraries have always reeled under the budget cuts. Price of journals and other research publications increased manifold due to increase in production cost and high profit margins of publishers. For scholars, academicians and research institutions it seemed an exploitation of sort by profiteer publishers to get the raw material ( research output) free of cost, even by charging fee from the authors/researchers in the form of per page charges, and then to sell the same processed material in the form of publications at high prices. The underlying philosophy of OAI is that research benefits the entire humanity and should be available to all irrespective of their paying capacity. That is the only way to promote access to knowledge and its benefits to the society at large: public funded research should be freely available to public. Hence, the movement, aided by the information technology, got the momentum. Initially the authors were wary of submitting their research to e- journals and treated them as impermanent and out of the main stream channels. They even doubted their quality and standards. Easy and inexpensive technology, availability of open source software and standards to launch e-journals tempted many unscrupulous and incompetent publishers and editors to enter the fray with the sole motive of making money. They had their way, but spoiled the credibility of the movement. To check such malpractices some publishers, organisations and editors have come together to frame guidelines for transparency and quality control in open access e-journals which have come to stay. Indeed open access e-journals have numerous advantages and better features. OA is not restricted to e-journals only. OA institutional repositories, e-books, education resources, open data, open software and standards, etc. are also part of this movement for which there is no looking back. Institutional repositories, may be subject, institution or form based, have many instant and long term benefits. Launching an e-journal or knowledge repository is a project which needs meticulous planning in terms of its need, scope, technology standard, administration, legal issues, finances marketing and sustainability. 3 Open Access This module deals with open access resources of all types, their definition, Infrastructure nature, features, planning, executing, choosing appropriate technical standards and following set procedures and later maintenance for all parties involved i.e. host, sponsors, users and prospective content creators. Emphasis is on e - journals and e-repositories and of course emerging trends in the open access movement. 4 UNIT 1 OPEN ACCESS REPOSITORIES Structure 1.0 Introduction 1.1 Learning Outcomes 1.2 Open Access Repositories 1.2.1 Institutional repositories 1.2.2 Subject/discipline specific repositories 1.2.3 Data repositories 1.3 Open Source Repository Software 1.3.1 Repository software 1.3.2 Criteria for the evaluation of an institutional repository 1.3.3 Comparison of repository software 1.4 Deployment and Implementation 1.4.1 Needs assessment (analysis) 1.4.2 Business Case (Plan) 1.5 Software Installation, Management and Services 1.6 Let Us Sum Up 1.7 Check Your Progress 1.0 INTRODUCTION The Internet was originally created by US military (ARPAnet1) to share information between geographically separated research computers. Since its creation, several developments occurred, e.g. sending and receiving huge amounts of data between various clients and storing data in the cloud. Open Access was a result of the dissatisfaction of researchers with the price models of scientific publishers, and scientific publishers making huge profits from research funded by public finance to benefit all. The Internet opened up a whole new world and made Open Access possible. The ability to not only download information but also to upload information lead – amongst other reasons - to the development of software to provide and manage Open Access services. Open source software is synonym with Open Access, because of the shared principle of ‘openness’ and the benefits thereof. Read more about open source software from the Open Source Initiative2. Within an Open Access environment, content (whether digitally born or after being digitised) is submitted by the content creator, owner of the content or a third party with the necessary permissions to do so. The content can take any form, with the only condition that it is already in some form of digital format, preferably an open format. The Open Access software architecture has been 1http://www.cs.utexas.edu/users/chris/think/ARPANET/ 2http://opensource.org/ 5 Open Access designed to manage both full text content and metadata3 (data about data). Infrastructure Basic services provided by this software include submission, retrieval, searching, and indexing. These systems usually also have an automated workflow, and an audit trail is kept of all actions during the various stages. Implementing an Open Access service usually follows a need to make research openly accessible for all, aligned with the strategy of an organisation. It is recommended that a thorough needs analysis/assessment be conducted before proceeding with the implementation of an Open Access service. This should be followed by a proposal and/or business plan (incl. capacity planning), before it is finally implemented. Policies and procedures should be compiled, and the service should be regularly evaluated to establish whether it still addresses the changing needs of the user community. 1.1 LEARNING OUTCOMES At the end of this unit, you are expected to be able to:  Explain the concept of repositories;  Identify the types of OA repositories;  List Open Source repository software;  Compare the features of some open source repository software;  Carryout needs analysis for OA repository and list the features of OA repository software;  Prepare a business plan for deployment of repository software; and  Take appropriate steps to install and manage repositories. 1.2 OPEN ACCESS REPOSITORIES There are mainly two routes to Open Access, namely the green and the gold routes. Open Access repositories are referred to as the green route to Open Access, while publishing in Open Access journals is referred to as the gold route to Open Access. Institutions such as universities and research organisations can implement either or both - not only to support Open Access, but also to preserve the digital research assets of the institution. The three main categories of repositories are:  Institutional repositories;  Subject/discipline specific repositories; and  Data repositories. 3http://en.wikipedia.org/wiki/Metadata 6 Open Access 1.2.1 Institutional repositories Repositories Clifford Lynch4 (2003) coined the original description of an institutional repository in the following words: “… a university-based institutional repository is a set of services that a university offers to the members of its community for the management and dissemination of digital materials created by the institution and its community members. It is most essentially an organizational commitment to the stewardship of these digital materials, including long-term preservation where appropriate, as well as organization and access or distribution.” Institutional (digital) repositories can also be referred to as document servers enabling members of a specific research community to self-archive their research output and to make their research output available to the public without any access barriers. Since these repositories are institutional, content depends on the focus of the institution or organisation. A higher education institution conducting research across multiple disciplines can follow a multi- disciplinary approach, including research from different subject areas in a single repository. A repository can contain new research (e.g. theses/dissertations) as well as research previously published in a subscription journal only, provided that there is an agreement between the author, publisher and institution. Both the metadata (data about data) as well as the full text are indexed, and harvested by popular search engines, provided that open standards are used. Examples of institutional repositories include:  Virginia Tech University Digital Library and Archives5  MIT Institutional Repository6  University of Queensland UQ eSpace7 For more examples on multi-disciplinary institutional repositories, visit OpenDOAR8. 1.2.2 Subject/discipline specific repositories Subject/discipline specific repositories (SSOAR9) store and provide access to the scholarly output of a particular subject area, for example an individual discipline. It can be a subject repository within a specific institution, or it can collect discipline specific research across various institutions. Important German projects include PsyDok10, a discipline-specific full-text server for (German-language) psychology, and SSOAR, an internationally-oriented social science full-text server. CiteSeer11 contains academic and scientific 4http://scholarship.utm.edu/21/1/Lynch,_IRs.pdf 5http://scholar.lib.vt.edu/ 6http://dspace.mit.edu/ 7http://espace.library.uq.edu.au/ 8http://www.opendoar.org/find.php 9http://www.ssoar.info/en/home/about-open-access/types-of-repositories.html 10http://psydok.sulb.uni-saarland.de/ 11http://citeseerx.ist.psu.edu/index 7 Open Access papers primarily from computer and information science, while arXiv12 Infrastructure contains scientific papers in the fields of mathematics, physics, astronomy, computer science, quantitative biology, statistics, and quantitative finance. For more examples on subject/discipline specific repositories, visitOpenDOAR. 1.2.3 Data repositories Data repositories are based on the same principles as institutional and subject/discipline specific repositories, with the only exception that it focuses on providing access to datasets. These datasets can be subject specific or across disciplines. A dataset is a set of files containing both research data - usually numeric or encoded - and documentation sufficient to make the data re- usable. The documentation can refer to any digital files such as a codebook, technical or methodology report or user guide, which explain the research data’s production, provenance, processing or interpretation (University of Edinburgh13, 2013). Nowadays scientific papers are often submitted to the institutional repository with the data attached to the paper. The same applies to theses and dissertations, especially where it is an institutional requirement that the data be preserved for future reference, should it be questioned following the publication of the thesis/dissertation on an institutional repository. Examples of data repositories:  Edinburgh DataShare  National Geographic Data Center  Dryad 1.3 OPEN SOURCE REPOSITORY SOFTWARE According to the Budapest Open Access Initiative14planning the implementation of an institutional repository entails policy, legal, educational, cultural, and technical components, most of which are interrelated and each of which must be satisfactorily addressed for the repository to succeed. Selecting a software system that best satisfies the needs of an institution is just one facet of institutional repository implementation planning. In the next session types of repository software will be discussed, as well as the criteria according to which repository software can be evaluated. 12http://xstructure.inr.ac.ru/ 13http://www.ed.ac.uk/schools-departments/information-services/research-support/data- library/data-repository/definitions 14http://www.soros.org/openaccess/software 8 1.3.1 Repository software Open Access Repositories There are mainly two different categories of repository software:  Open Source software, e.g. DSpace, Fedora, EPrints; and  Hosted solutions, e.g. Digital Commons, SimpleDL, ContentDM, DSpaceDirect. As indicated previously, open source software (OSS) is synonymous with Open Access. OSS offers many benefits, incl.:  It promotes collaboration and knowledge sharing amongst communities;  All participants benefit, and not only the vendor;  The product belongs to all and lots of support is available from the OSS community;  No marketing is involved, therefore there is no salesman involved selling the product only focusing on the positive features, and not the limitations;  With OSS what you see is what you get;  OSS is flexible, its source code is open, and can be customized to be interoperable with other software at an institution;  It is open for scrutiny, and can be installed and tested before taking a final decision;  It can be implemented by institutions with minimal resources; and  World standards and open standards are used, which makes it a favorable choice. 1.3.2 Criteria for the evaluation of an institutional repository Software is continuously upgraded and enhanced, and new functionalities are added to meet the needs of the user community. A decision to use a specific software system/platform can be based on a literature survey, or based on an evaluation following the installation of the various software systems on a test server. This will depend on the expertise and capacity within an institution. When making a decision on which software to use, the needs of the user community should be matched with the functionality of the software. Although different communities might have different needs, the following criteria from the Open Society Institute15(2004) can be used as a guideline when conducting an evaluation of available software:  Technical specifications  Repository and system administration  Content management  Dissemination  Archiving  System maintenance 15http://www.budapestopenaccessinitiative.org/pdf/OSI_Guide_to_IR_Software_v3.pdf 9